2019-04-18T11:09:21-05:00 2018-06-30 410746749 CLIFTONLARSONALLEN LLP 220 SOUTH SIXTH STREET SUITE 300 MINNEAPOLIS MN 55402 990 2017-07-01 410694747 CARLETON COLLEGE CARL 5072224000 ONE NORTH COLLEGE STREET NORTHFIELD MN 55057 FREDERICK A ROGERS VP & TREASURER 5072224000 2019-04-08 1 KAREN GRIES P00078514 6123764500 67.137.57.251 2019-04-08 08:46:25 CD P 0F6CED516730F26F6D929EFCCC55701A57CAC9CA 971A8EAD25932F411DD256B5E237B6EBEA5F4AEB 2017 2019-02-21 02:37:17Z STEVEN G POSKANZER ONE NORTH COLLEGE STREET NORTHFIELD MN 55057 233940866 0 X WWW.CARLETON.EDU X 1866 MN TO PROVIDE AN EXCEPTIONAL UNDERGRADUATE LIBERAL ARTS EDUCATION. 32 31 3015 3242 -10340 -199012 59994718 53399185 131225363 132486089 35648695 60918827 -88976 2703570 226779800 249507671 41425439 42270832 0 0 81207964 83788288 0 0 6380199 63419782 64334250 186053185 190393370 40726615 59114301 1337663855 1412434433 199771282 194960095 1137892573 1217474338 X SEE SCHEDULE O.CARLETON COLLEGE IS A PRIVATE LIBERAL ARTS COLLEGE, LOCATED IN NORTHFIELD, MINNESOTA, BEST KNOWN FOR ITS ACADEMIC EXCELLENCE AND WARM, WELCOMING CAMPUS COMMUNITY. CARLETON OFFERS 33 MAJORS IN THE ARTS, HUMANITIES, NATURAL SCIENCES/MATHEMATICS, AND SOCIAL SCIENCES.THE CARLETON COLLEGE MISSION IS TO PROVIDE AN EXCEPTIONAL UNDERGRADUATE LIBERAL ARTS EDUCATION. THE COLLEGE IS DEVOTED TO ACADEMIC EXCELLENCE, DISTINGUISHED BY THE CREATIVE INTERPLAY OF TEACHING, LEARNING, AND SCHOLARSHIP AND IS DEDICATED TO A DIVERSE RESIDENTIAL COMMUNITY AND EXTENSIVE INTERNATIONAL ENGAGEMENTS. 0 0 102997989 39953943 107475759 INSTRUCTION: CARLETON COLLEGE EXISTS TO PROVIDE A HIGH QUALITY LIBERAL ARTS EDUCATION FOR YOUNG WOMEN AND MEN, PREPARING THEM FOR LEADERSHIP IN THEIR COMMUNITIES, COUNTRIES AND THE WORLD (1,996 STUDENTS). A STUDENT-FACULTY RATIO OF 9:1 SUPPORTS THEM WITH CLASSROOM, LABORATORY, OFF-CAMPUS STUDY AND RESEARCH OPPORTUNITIES. AVERAGE CLASS SIZE IS 16. OVER 76% OF THE GRADUATING CLASS OF 2017 PARTICIPATED IN A STUDY ABROAD PROGRAM DURING THEIR CARLETON EXPERIENCE. STUDENT FINANCIAL AID PROGRAMS - CARLETON MEETS 100% OF THE DEMONSTRATED FINANCIAL NEED OF ALL ADMITTED STUDENTS TO ENSURE AFFORDABILITY AND ACCESSIBILITY; ACHIEVE CULTURAL, RACIAL, ETHNIC AND SOCIOECONOMIC DIVERSITY; AND FUND THE COMMITMENT TO GLOBALIZATION (1,809 STUDENTS). 18756231 0 23260034 AUXILIARY ENTERPRISES: CARLETON COLLEGE MAINTAINS A RURAL RESIDENTIAL CAMPUS TO ENHANCE THE EDUCATIONAL EXPERIENCE OF THE STUDENT BODY WITH ROOM AND BOARD PROGRAMS DESIGNED TO ENCOURAGE A SPIRIT OF COLLEGIALITY AND CONVERSATION BEYOND THE CLASSROOM AND LABORATORY (1,807 STUDENTS). 17088799 78000 0 STUDENT SERVICES: PROGRAMS DESIGNED TO SUPPORT THE CARLETON COLLEGE STUDENT LIFE EXPERIENCE INCLUDING CO-CURRICULAR AND RECREATIONAL OPPORTUNITIES (1,996 STUDENTS). 19017620 0 0 ACCADEMIC SUPPORT - PROGRAMS TO ENHANCE THE CARLETON LIBERAL ARTS EXPERIENCE WITH LIBRADY AND INFORMATION TECHNOLOGY RESOURCES (1,996 STUDENTS). 4199716 488592 0 RESEARCH - FACULTY AND STUDENT RESEARCH TO ENHANCE THE ACADEMIC INSTRUCTIONAL EXPERIENCE. 1321753 1750296 1750296 SUMMER ACADEMIC PROGRAMS - PROGRAMS FOR HIGH SCHOOL STUDENTS AND WORKSHOPS FOR TEACHERS OF ADVANCED PLACEMENT ENRICHED OR ACCELERATED CLASSES IN GRADES 7-12 TO DEVELOP SKILLS FOR RIGOROUS ACADEMIC PROGRAMS (1,057 ATTENDEES). 24539089 2238888 1750296 163382108 1 1 0 1 0 0 0 1 1 1 1 1 0 0 1 1 1 0 1 1 1 0 0 0 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 0 0 1 X 486 0 3015 1 1 1 1 FR NZ SP IN ET 0 0 0 0 0 0 0 0 X 32 31 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA MN NH WA WI NY NJ TN MD AZ X X FREDERICK A ROGERS 5072224000 ONE NORTH COLLEGE STREET NORTHFIELD MN 55057 WALLACE R WEITZ CHAIR 8.00 X X 0 0 0 CAROL BARNETT VICE CHAIR 8.00 X X 0 0 0 CATHY PAGLIA VICE CHAIR 8.00 X X 0 0 0 STEVEN G POSKANZER PRESIDENT 60.00 X X 488635 0 118699 MARK S APPLEBAUM TRUSTEE 5.00 X 0 0 0 MCKAY BARRA TRUSTEE 5.00 X 0 0 0 ALAN BAUER TRUSTEE 5.00 X 0 0 0 BILL CRAINE TRUSTEE 5.00 X 0 0 0 STEVEN DAVIS TRUSTEE 5.00 X 0 0 0 ARNOLD DONALD TRUSTEE 5.00 X 0 0 0 HERBERT FRITCH TRUSTEE 5.00 X 0 0 0 JOHN F HARRIS TRUSTEE 5.00 X 0 0 0 MICHAEL HASENSTAB TRUSTEE 5.00 X 0 0 0 MICHELE JOY TRUSTEE 5.00 X 0 0 0 ARTHUR D KOWALOFF TRUSTEE 5.00 X 0 0 0 RICHARD R KRACUM TRUSTEE 5.00 X 0 0 0 LARNZELL MARTIN TRUSTEE 5.00 X 0 0 0 LAIRD MCCULLOCH TRUSTEE 5.00 X 0 0 0 JENINNE MCGEE TRUSTEE 5.00 X 0 0 0 STEVEN PARRISH TRUSTEE 5.00 X 0 0 0 ROLF PETERS TRUSTEE 5.00 X 0 0 0 NICK PUZAK TRUSTEE 5.00 X 0 0 0 PAMEL KIECKER ROYALL TRUSTEE 5.00 X 0 0 0 DAVID B SMITH TRUSTEE 5.00 X 0 0 0 FRANCES SPANGLER TRUSTEE 5.00 X 0 0 0 WILLIAM STERLING TRUSTEE 5.00 X 0 0 0 ALISON VON KLEMPERER TRUSTEE 5.00 X 0 0 0 JUSTIN B WENDER TRUSTEE 5.00 X 0 0 0 BONNIE M WHEATON TRUSTEE 5.00 X 0 0 0 BYRON WHITE TRUSTEE 5.00 X 0 0 0 CANDACE WILLIAMS TRUSTEE 5.00 X 0 0 0 JOHN YOUNGBLOOD TRUSTEE 5.00 X 0 0 0 THOMAS BONNER VP FOR EXTERNAL RELATIONS 60.00 X 325603 0 53761 FREDERICK A ROGERS VP AND TREASURER 60.00 X 331644 0 44925 BEVERLY NAGEL DEAN OF THE COLLEGE 60.00 X 298533 0 38220 PAUL THIBOUTOT VP AND DEAN OF ADMISSIONS 40.00 X 203776 0 37302 CAROLYN H LIVINGSTON VP FOR STUDENT DEVELOPMENT 60.00 X 184005 0 51830 JULIE J NEIWORTH PROFESSOR OF NATURAL SCIENCE 40.00 X 181652 0 48004 STEVEN K SPEHN DIRECTOR OF FACILITIES/CAPITAL PLAN 40.00 X 178750 0 40705 JOE HARGIS II ASSOCIATE VP FOR EXTERNAL RELATIONS 40.00 X 170720 0 45011 DEBORAH APPLEMAN PROFESSOR OF EDUCATIONAL STUDIES 40.00 X 183293 0 24331 MARK MCKONE PROFESSOR OF BIOLOGY 40.00 X 175577 0 22958 2722188 0 525746 133 0 1 0 MCGOUGH CONSTRUCTION CO 2737 FAIRVIEW AVE N ST PAUL MN 55113 GENERAL CONTRACTOR 27418177 BON APPETIT 100 HAMILTON AVE STE 400 PALO ALTO CA 94301 FOOD SERVICE 9578629 TERRA GENERAL CONTRACTORS LLC 21025 COMMERCE BLVD ROGERS MN 55374 GENERAL CONTRACTOR 5992630 EYP ARCHITECTURE & ENGINEERING PC 257 FULLER RD FIRST FL ALBANY NY 12203 GENERAL CONTRACTOR 2262874 MEP ASSOCIATES 2720 ARBOR COURT STE A EAU CLAIRE WI 54701 GENERAL CONTRACTOR 923448 47 4021413 49377772 13508416 53399185 TUITION AND FEES 611710 107475759 107475759 ROOM AND BOARD 611710 23260034 23260034 SUMMER ACADEMIC PROG 611310 1750296 1750296 132486089 10623766 -146442 10770208 222700 222700 378200 758782 -380582 -380582 -380582 33915474 54000 -17340209 1014622 51255683 -960622 50295061 50295061 OTHER REVENUE 900099 2725350 2725350 WIND TURBINE 221000 136102 136102 2861452 249507671 132486089 -10340 63632737 566592 566592 41704240 41704240 1816621 153648 1211976 450997 61798770 53119856 5332856 3346058 5595736 4656134 445942 493660 10301880 8773884 1005587 522409 4275281 3620367 303548 351366 162939 162939 114160 114160 7303999 7303999 3198874 2318636 670889 209349 84258 7837 56217 20204 7029123 5035891 1659423 333809 1400229 1361213 19781 19235 5414738 5414738 7696508 7102550 178666 415292 1765700 801220 787672 176808 5188414 5188414 11254734 10964871 289863 1028949 645354 383595 STUDENT FOOD SERVICE 7810900 7810900 MISCELLANEOUS EXPENSES 3308106 3169005 112186 26915 MEMBERSHIP FEES 1572619 966758 591764 14097 190393370 163382108 20631063 6380199 44183083 104426554 23973849 27426358 2078110 4063857 560700 543834 2672049 1056993 440917770 179969313 229261602 260948457 426423853 386657066 533896893 571575337 7262341 6253135 67351375 49482842 1337663855 1412434433 16049238 19456060 5421008 4227338 150446229 144337492 4512205 3528259 23342602 23410946 199771282 194960095 X 485850306 536269419 423902358 428578685 228139909 252626234 1137892573 1217474338 1337663855 1412434433 X 59114301 21529214 -1061750 X 0 1 X 1 1 1 X 27893301 34152153 40592157 59994718 53399185 216031514 27893301 34152153 40592157 59994718 53399185 216031514 20294089 195737425 4602190 13241809 8823217 10080664 11224665 47972545 3929071 2861452 6790523 270794582 626909466 0.72280 0.72050 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER REVENUE - 2013 AMOUNT: $ 3,929,071. 2017 AMOUNT: $ 2,725,350. WIND TURBINE - 2017 AMOUNT: $ 136,102. 0 0 0 0 1 0 0 1 1 1 101366 1 1 500 0 101866 0 PART II-B, LINE 1: COLLEGE RELATIONS OCCASIONALLY CONTACT LEGISLATORS TO EXPRESS THE COLLEGE'S VIEWS ON PENDING LEGISLATION WHICH WOULD AFFECT THE COLLEGE. COSTS INCURRED IN CONNECTION WITH THESE ACTIVITIES ARE INSIGNIFICANT AND NO SEPARATE ACCOUNT IS MADE FOR THESE COSTS. IN ADDITION, STUDENTS PARTICIPATE IN A VOLUNTEER ACTIVITY SPONSORED BY THE MINNESOTA PRIVATE COUNCIL (MPCC) CALLED "DAY AT THE CAPITAL" TO DISCUSS THE IMPORTANCE OF THE STATE GRANT PROGRAM WITH REPRESENTATIVES. COSTS INCURRED BY THE COLLEGE TO SUPPORT THIS PROGRAM ARE DE MINIMUS. CARLETON COLLEGE IS A MEMBER OF MINNESOTA PRIVATE COLLEGE COUNCIL (MPCC), AN ORGANIZATION DESCRIBED IN SECTION 501(C)(4) OF THE INTERNAL REVENUE CODE. MPCC IS AN ASSOCIATION OF PRIVATE NONPROFIT INSTITUTIONS OF HIGHER EDUCATION THAT SERVES A VARIETY OF ITS MEMBERS' SHARED NEEDS, INCLUDED, BUT NOT ONLY, NONPARTISAN AND NON-ELECTORAL ADVOCACY FOR PUBLIC POLICY THAT MEETS STUDENTS' NEEDS AND ADVANCES THE INTEREST OF PRIVATE HIGHER EDUCATION. CARLETON COLLEGE PAID MEMBER DUES TO MPCC IN THE AMOUNT OF $126,233 DURING THE TAXABLE YEAR. MPCC HAD DIVIDED ITS EXPENSES FOR ITS TAXABLE YEAR ENDING JUNE 30, 2018 INTO TWO GROUPS. GROUP 1 CONSISTS OF THOSE EXPENSES THAT DID NOT IN ANY WAY SUPPORT ATTEMPTS TO INFLUENCE LEGISLATION WITHIN THE MEANING OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE ("LOBBYING"), AND GROUP 2 CONSISTS OF ALL OTHER EXPENSES. GROUP 2 INCLUDES MANY EXPENSES SUCH AS PERSONNEL COSTS THAT SUPPORT BOTH LOBBYING AND NONLOBBYING ACTIVITIES. MPCC DID NOT ATTEMPT TO ALLOCATE THE GROUP 2 EXPENSES BETWEEN LOBBYING AND NONLOBBYING ACTIVITIES. MPCC HAD DETERMINED THAT THE AMOUNT OF THE GROUP 2 EXPENSES REPRESENTS 80.30% OF THE AMOUNT OF DUES THAT MPCC COLLECTED IN THE SAME TAXABLE YEAR. ASSUMING THAT ALL GROUP 2 EXPENSES WERE PAID FROM MEMBER DUES, AND ALLOCATING THOSE EXPENSES PRO RATA BASED ON THE DUES PAID BY EACH MEMBER, $101,366 OF CARLETON COLLEGE'S DUES WERE USED TO PAY GROUP 2 EXPENSES. THE AMOUNT OF LOBBYING EXPENSES PAID FROM CARLETON COLLEGE'S DUES WAS SIGNIFICANTLY LESS THAN THAT AMOUNT. 422950 422950 X X X 0 0 1 X 837308012 29763471 72580595 9673465 29310035 6435075 894233503 739622548 30968061 110876006 9133556 27960493 7064554 837308012 784690360 7573357 -9371797 9135660 27138149 6995563 739622548 794308177 10255124 21539635 8294492 26339602 6778482 784690360 704714660 13311856 116344123 7949318 25719295 6393849 794308177 0.33780 0.26950 0.39270 1 0 4628468 4628468 304348867 102671791 201677076 90024756 77297522 12727234 41915679 41915679 260948457 PRIVATE EQUITY 139988764 F HEDGE FUNDS 246682720 F REAL ASSETS 124664414 F PLANNED GIFT AGREEMENTS AND OTHER 60239439 F 571575337 ANNUITIES PAYABLE 21054577 ASSET RETIREMENT OBLIGATION 2155667 FAIR VALUE OF INTEREST RATE SWAP 200702 23410946 X 221725678 21529214 -302968 21226246 200499432 7303999 41704240 49008239 249507671 142143913 758782 758782 141385131 7303999 41704240 49008239 190393370 PART III, LINE 4: CARLETON'S ART COLLECTION IS FOR STUDENT RESEARCH AND STUDY INCLUDING COLLEGE ARCHIVES OF INSTITUTIONALLY SIGNIFICANT TREASURES AND LIBRARY COLLECTIONS. PART IV, LINE 2B: THE COLLEGE REPORTS ON FORM 990, PART X, LINE 21 AMOUNTS HELD FOR THE PERKINS LOAN PROGRAM THAT ARE REFUNDABLE TO THE GOVERNMENT AND REPORTED AS A LIABILITY ON THE COLLEGE'S FINANCIAL STATEMENTS. PART V, LINE 4: ENDOWMENT FUNDS ARE TO SUPPORT GRANTS TO STUDENTS AND THE PROGRAM SERVICES OF THE COLLEGE. PART X, LINE 2: THE COLLEGE QUALIFIES AS A TAX-EXEMPT NONPROFIT ORGANIZATION UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND SIMILAR STATUTES OF MINNESOTA LAW. THE COLLEGE IS SUBJECT TO FEDERAL INCOME TAX ONLY ON NET UNRELATED BUSINESS INCOME UNDER THE PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. THE COLLEGE HAS EVALUATED ITS TAX POSITIONS AND DETERMINED IT HAS NO UNCERTAIN TAX POSITIONS AND HAS RECORDED NO OBLIGATION FOR UNRELATED BUSINESS INCOME TAX. NO PROVISIONS FOR FEDERAL OR STATE INCOME TAXES ARE REQUIRED AS OF JUNE 30, 2018. PART XI, LINE 2D - OTHER ADJUSTMENTS: UNREALIZED GAIN ON INTEREST RATE SWAP 282,095. NET CHANGE IN ANNUITY & LIFE INCOME FUNDS -1,343,845. RENTAL EXPENSES 758,782. PART XI, LINE 4B - OTHER ADJUSTMENTS: GRANTS TO STUDENTS 41,704,240. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES 758,782. PART XII, LINE 4B - OTHER ADJUSTMENTS: GRANTS TO STUDENTS 41,704,240. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE COLLEGE USES PAPER AND BROADCAST MEDIA IN SOLICITATION OF STUDENTS. WE PUBLICIZE OUR NONDISCRIMINATORY POLICY IN ALL PRINTED BROCHURES, MAGAZINES, APPLICATION MATERIAL AND WEBSITE INFORMATION. SCHEDULE E, PART I, LINE 6 CARLETON COLLEGE PARTICIPATES IN THE FEDERAL STUDENT FINANCIAL AID PROGRAM ADMINISTERED THROUGH THE U.S. DEPARTMENT OF EDUCATION. CARLETON STUDENTS RECEIVE FUNDING FROM CAMPUS-BASED PROGRAMS (PERKINS, SEOG, AND FEDERAL WORK STUDY) AS WELL AS FEDERAL PELL GRANTS AND FEDERAL STUDENT LOANS. IN ADDITION, CARLETON STUDENTS RECEIVE FUNDING FROM THE MINNESOTA STATE GRANT, WORK-STUDY AND SELF LOAN PROGRAMS ADMINISTERED THROUGH THE MINNESOTA OFFICE OF HIGHER EDUCATION. CENTRAL AMERICA & CARIBBEAN 0 0 INVESTMENTS N/A 216110368 EUROPE 0 0 PROGRAM SERVICES OCS - IRISH LITERATURE AND CULTURE IN IRELAND 234655 EUROPE 0 0 PROGRAM SERVICES OCS - ART NOW: GLOBAL CONTEMPORARY ART 225500 EUROPE 0 0 PROGRAM SERVICES OCS - GERMAN & EUROPEAN STUDIES IN BERLIN 259114 EUROPE 0 0 PROGRAM SERVICES OCS - SPANISH STUDIES IN MADRID 201188 EUROPE 0 0 PROGRAM SERVICES OCS - GEOLOGY IN NEW ZEALAND 363809 EUROPE 0 0 PROGRAM SERVICES OCS - SPORT AND GLOBALIZATION IN LONDON & SEVILLE 364916 EUROPE 0 0 PROGRAM SERVICES OCS - ARCHITECTURE, URBANISM AND EMPIRE IN EUROPE: BRITAIN, ITALY, SPAIN 380275 EUROPE 0 0 PROGRAM SERVICES OCS - ENGLISH THEATER AND LITERATURE IN LONDON 223229 EUROPE 0 0 PROGRAM SERVICES OCS - FRENCH STUDIES IN PARIS 257534 EAST ASIA & THE PACIFIC 0 0 PROGRAM SERVICES OCS - JAPANESE LINGUISTICS AND CULTURE IN KYOTO, JAPAN 218337 EUROPE 0 0 PROGRAM SERVICES OCS - RUSSIAN LANGUAGE AND CULTURE IN MOSCOW 117433 EUROPE 0 0 PROGRAM SERVICES OCS - EASTERN & CENTRAL EUROPE: CULTURAL AND POLITICAL PERSPECTIVE 197941 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES OCS - ARTS AND CULTURE IN WEST AFRICA 103565 SOUTH ASIA 0 0 PROGRAM SERVICES OCS - BUDDHIST STUDIES IN BODH GAYA 420070 EUROPE 0 0 PROGRAM SERVICES OCS - COMPARATIVE WOMEN'S & GENDER STUDIES IN EUROPE 252199 0 0 0 0 0 0 218139825 1790308 219930133 1 0 0 1 1 0 PART I, LINE 3: THE COLLEGE USES THE ACCRUAL METHOD OF ACCOUNTING TO REPORT EXPENDITURES ON PART I. 1 CITY OF NORTHFIELD 801 WASHINGTON STREET NORTHFIELD MN 55057 416005424 GOVT ENTITY 78000 N/A N/A COMMUNITY ENGAGEMENT CENTRAL WASHINGTON UNIVERSITY 400 UNIVERSITY WAY ELLENSBURG WA 98926 916000618 501(C)(3) 27363 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV CLAFIN UNIVERSITY 400 MAGNOLIA STREET ORANGEBURG SC 29115 570314374 501(C)(3) 277 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV COLUMBIA UNIVERSITY 2960 BROADWAY NEW YORK NY 10027 135598093 501(C)(3) 87746 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV NATIONAL COUNCIL FOR SCIENCE AND THE ENVIRONMENT 1101 17TH ST NW STE 250 WASHINGTON DC 20036 521700932 501(C)(3) 17522 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV NORTH CAROLINA STATE UNIVERSITY 2701 SULLIVAN DR RALEIGH NC 27695 566000758 501(C)(3) 69254 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV PASADENA CITY COLLEGE 1570 E COLORADO BLVD PASADENA CA 91106 952505000 501(C)(3) 13687 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV PENN STATE UNIVERSITY 201 OLD MAIN UNIVERSITY PARK PA 16802 246000376 501(C)(3) 82912 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV SAVANNAH STATE UNIVERSITY PO BOX 20419 SAVANNAH GA 31404 586002069 501(C)(3) 37529 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV SHIPPENSBURG UNIVERSITY OF PA 1871 OLD MAIN DR SHIPPENSBURG PA 17257 232500361 501(C)(3) 18462 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV THE CSU CHICO RESEARCH FOUNDATION CSU CHICO - BUILDING 25MST CHICO CA 95929 680386518 501(C)(3) 15012 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV THE INCORPORATED RESEARCH INSTITUTIONS FOR SEISMOLOGY (IRIS) CONSORTIUM 1200 NEW YORK AVENUE NW SUITE 400 WASHINGTON DC 20005 521362650 501(C)(3) 8312 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV THE UNIVERSITY OF TEXAS 500 W UNIVERSITY WAY EL PASO TX 79968 746000813 501(C)(3) 11359 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV UNIVERSITY OF NEBRASKA 151 WHITTIER RESEARCH CTR 220 VINE ST LINCOLN NE 68583 470049123 501(C)(3) 13836 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV UNIVERSITY OF WASHINGTON PO BOX 50096 SEATTLE WA 98145 916001537 501(C)(3) 41225 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV WILLIAMS COLLEGE 880 MAIN STREET HOPKINS HALL WILLIAMSTOWN MA 01267 042104847 501(C)(3) 17984 N/A N/A NSF SUBAWARD - STEP CENTER/INTEGRATE: SEE PART IV AMERICAN GEOPHYSICAL UNION 2000 FLORIDA AVENUE NW WASHINGTON DC 20009 520955532 501(C)(3) 4812 N/A N/A NSF SUBAWARD - ENGAGING LOCAL COMMUNITIES IN GEOSCIENCE PATHWAYS THE INCORPORATED RESEARCH INSTITUTIONS FOR SEISMOLOGY (IRIS) CONSORTIUM 1200 NEW YORK AVENUE NW SUITE 400 WASHINGTON DC 20005 521362650 501(C)(3) 9449 N/A N/A NSF SUBAWARD - ENGAGING LOCAL COMMUNITIES IN GEOSCIENCE PATHWAYS UNAVCO INC 6350 NAUTILUS DRIVE BOULDER CO 80301 841588357 501(C)(3) 4824 N/A N/A NSF SUBAWARD - ENGAGING LOCAL COMMUNITIES IN GEOSCIENCE PATHWAYS UNIVERSITY OF CALIFORNIA-BERKELEY 2195 HEAREST AVENUE BERKELEY CA 94720 946002123 501(C)(3) 7027 N/A N/A NSF SUBAWARD - ENGAGING LOCAL COMMUNITIES IN GEOSCIENCE PATHWAYS 20 0 STUDENT SCHOLARSHIPS 1809 41704240 N/A N/A PART I, LINE 2: GRANTS TO ORGANIZATIONS REQUIRE QUARTERLY PROGRAM REPORTING INCLUDING A NARRATIVE AND FINANCIAL SUMMARY THAT IS REVIEWED BY THE PROGRAM DIRECTOR. SCHOLARSHIPS AND GRANTS FOR STUDENTS ARE APPLIED DIRECTLY TO A STUDENT'S COLLEGE ACCOUNT AND APPLIED TO TUITION, FEES, ROOM AND BOARD. ALL FINANCIAL AID IS SUBJECT TO REVISION BASED ON AVAILABILITY, CHANGES IN FAMILY CONTRIBUTION AND/OR CREDIT LOAD. SATISFACTORY ACADEMIC PROGRESS MUST BE MAINTAINED ACCORDING TO STANDARDS PRESCRIBED BY THE COLLEGE. ANNUAL RENEWAL OF FINANCIAL AID IS CONTINUOUS IF INSTITUTIONAL FINANCIAL NEED REMAINS, ALL REQUIRED DOCUMENTS ARE COMPLETED BY THE PUBLISHED DEADLINE AND SATISFACTORY ACADEMIC PROGRESS IS MAINTAINED CONSISTENT WITH THE COLLEGE'S POLICY. SCHEDULE I, PART II, COLUMN (H): NSF SUBAWARD - STEP CENTER/INTEGRATE: INTERDISCIPLINARY TEACHING OF GEOSCIENCE FOR A SUSTAINABLE FUTURE X X X 1 1 X X X X X 0 0 0 0 0 0 0 0 0 STEVEN G POSKANZER PRESIDENT 449320 0 0 0 39315 0 27000 0 91699 0 607334 0 0 0 THOMAS BONNER VP FOR EXTERNAL RELATIONS 318833 0 0 0 6770 0 27000 0 26761 0 379364 0 0 0 FREDERICK A ROGERS VP AND TREASURER 296267 0 0 0 35377 0 27000 0 17925 0 376569 0 0 0 BEVERLY NAGEL DEAN OF THE COLLEGE 294067 0 0 0 4466 0 27000 0 11220 0 336753 0 0 0 PAUL THIBOUTOT VP AND DEAN OF ADMISSIONS 202054 0 0 0 1722 0 20601 0 16701 0 241078 0 0 0 CAROLYN H LIVINGSTON VP FOR STUDENT DEVELOPMENT 183765 0 0 0 240 0 19731 0 32099 0 235835 0 0 0 JULIE J NEIWORTH PROFESSOR OF NATURAL SCIENCE 148380 0 0 0 33272 0 15047 0 32957 0 229656 0 0 0 STEVEN K SPEHN DIRECTOR OF FACILITIES/CAPITAL PLAN 177718 0 0 0 1032 0 18525 0 22180 0 219455 0 0 0 JOE HARGIS II ASSOCIATE VP FOR EXTERNAL RELATIONS 169136 0 0 0 1584 0 17708 0 27303 0 215731 0 0 0 DEBORAH APPLEMAN PROFESSOR OF EDUCATIONAL STUDIES 162845 0 0 0 20448 0 16480 0 7851 0 207624 0 0 0 MARK MCKONE PROFESSOR OF BIOLOGY 156885 0 0 0 18692 0 15817 0 7141 0 198535 0 0 0 PART I, LINE 1A STEVEN POSKANZER: RESIDENCE FOR PERSONAL USE AND HOUSE CLEANING SERVICE, NOT INCLUDED IN TAXABLE INCOME AS THE HOUSING ASSIGNMENT IS REQUIRED BY THE COLLEGE AS A CONDITION OF EMPLOYMENT. STEVEN POSKANZER: SOCIAL CLUB DUES AND GROSS UP OF LEGAL REIMBURSEMENT, INCLUDED IN TAXABLE COMPENSATION. FREDERICK A. ROGERS: HOUSING ALLOWANCE, INCLUDED IN TAXABLE COMPENSATION. A MN HIGHER EDUCATION FACILITIES AUTHORITY SERIES 6D 410988525 60416HENO 2005-04-13 31460000 SEE PART VI 0 0 0 B MN HIGHER EDUCATION FACILITIES AUTHORITY SERIES 2017 410988525 60416H3W2 2017-05-24 124900000 SEE PART VI 1 0 0 A 22225000 31460000 336501 3000000 28123498 2008 0 1 1 1 B 17555300 139670300 756612 70000000 45913688 1 1 0 1 A 0 0 1 1 0 0.02000 0.00000 0.02000 0 0 1 B 0 0 1 1 0 0.00000 0.00000 0.00000 1 0 0 A 0 0 1 0 1 1 MORGAN STANLEY CAPITAL 7.000000000000 0 0 0 0 1 B 0 0 1 1 0 0 0 0 1 A 1 B 1 SCHEDULE K, PART I, BOND ISSUES, COLUMN (F) (A) DESCRIPTION OF PURPOSE: RETIRE SERIES 3L1 AND SERIES 4N, NEW STUDENT HOUSING (B) DESCRIPTION OF PURPOSE: WEITZ CENTER MUSIC ADDITION, SCIENCE COMPLEX CONSTRUCTION, UTILITY INFRASTRUCTURE IMPROVEMENTS & ADDITIONS X 3 422950 APPRAISAL X 405 13085466 FMV 3 0 1 1 PART I, COLUMN (B): THE COLLEGE REPORTS THE NUMBER OF CONTRIBUTORS ON PART I, COLUMN (B). PART I, LINE 32B: THE COLLEGE WILL RETAIN AN ATTORNEY FOR NON CASH REAL ESTATE GIFTS AND A BROKER FOR PUBLICLY TRADED SECURITIES, AS NEEDED. FORM 990, PART VI, SECTION A, LINE 1 THE COLLEGE'S EXECUTIVE COMMITTEE INCLUDES THE CHAIR OF EACH BOARD COMMITTEE AND THE PRESIDENT. BETWEEN MEETINGS OF THE BOARD OF TRUSTEES, THE EXECUTIVE COMMITTEE SHALL HAVE GENERAL SUPERVISION OF THE ADMINISTRATION AND PROPERTY OF THE COLLEGE EXCEPT THAT UNLESS SPECIFICALLY EMPOWERED BY THE BOARD OF TRUSTEES TO DO SO, IT MAY NOT TAKE ANY ACTION INCONSISTENT WITH A PRIOR ACT OF THE BOARD OF TRUSTEES, ALTER BYLAWS, REMOVE OR APPOINT THE PRESIDENT OF THE COLLEGE, OR TAKE ANY ACTION WHICH HAS BEEN RESERVED FOR THE BOARD. FORM 990, PART VI, SECTION B, LINE 11B MANAGEMENT PRESENTED THE FORM IN ITS ENTIRETY TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES FOR THEIR REVIEW PRIOR TO SUBMITTING IT TO THE IRS. THE FORM 990 IS ALSO INCLUDED ON THE BOARD OF TRUSTEES' WEBSITE AND PROVIDED WITH THE BOARD MATERIALS FOR ALL BOARD MEMBERS TO REFERENCE. FORM 990, PART VI, SECTION B, LINE 12C OFFICERS, TRUSTEES, AND KEY EMPLOYEES ARE REQUIRED TO ANNUALLY DISCLOSE INTERESTS THAT COULD GIVE RISE TO CONFLICTS. SUCH INTERESTS INCLUDE A LIST OF FAMILY MEMBERS, SUBSTANTIAL BUSINESS OR INVESTMENT HOLDINGS AND OTHER TRANSACTIONS OR AFFILIATIONS WITH BUSINESSES OR OTHER ORGANIZATIONS. TRANSACTIONS WITH PARTIES WITH WHOM A CONFLICTING INTEREST EXISTS MAY BE UNDERTAKEN ONLY IF ALL OF THE FOLLOWING ARE OBSERVED: 1) THE CONFLICTING INTEREST IS FULLY DISCLOSED; 2) THE PERSON WITH THE CONFLICT OF INTEREST IS EXCLUDED FROM THE DISCUSSION AND APPROVAL OF SUCH TRANSACTIONS; 3) A COMPETITIVE BID FOR COMPARABLE VALUATION EXISTS; AND 4) THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES HAS DETERMINED THAT THE TRANSACTION IS IN THE BEST INTEREST OF THE ORGANIZATION. INDIVIDUALS WITH AN IDENTIFIED CONFLICT OF INTEREST ARE RESTRICTED IN HOW THEY ARE ALLOWED TO PROCEED WITH THE TRANSACTION. THE INDIVIDUALS ARE ALLOWED TO PARTICIPATE IN THE DISCUSSION, BUT NOT ALLOWED TO VOTE ON THE TRANSACTION. FORM 990, PART VI, SECTION B, LINE 15 THE PRESIDENT'S COMPENSATION IS DETERMINED ANNUALLY BY THE HUMAN RESOURCES SUBCOMMITTEE OF THE BOARD OF TRUSTEES. THE SUBCOMMITTEE USES A CONSULTING FIRM TO CONDUCT AN INDEPENDENT REVIEW OF THE PRESIDENT'S COMPENSATION PACKAGE. THE REVIEW COMPARES DATA FROM 25 OF THE COLLEGE'S PEER INSTITUTIONS, AS WELL AS UTILIZING VARIOUS SALARY SURVEYS. THE COLLEGE USES THE SAME CONSULTING FIRM TO REVIEW THE FOLLOWING POSITIONS: VICE PRESIDENT AND TREASURER, VICE PRESIDENT OF EXTERNAL RELATIONS, DEAN OF THE COLLEGE, VICE PRESIDENT AND DEAN OF ADMISSIONS, VICE PRESIDENT AND DEAN OF STUDENT, CHIEF OF STAFF AND DIRECTOR OF INVESTMENTS. THE PRESIDENT SUBMITS HIS SALARY RECOMMENDATIONS FOR THESE POSITIONS TO THE EXECUTIVE COMMITTEE FOR APPROVAL. THIS PROCESS TAKES PLACE ANNUALLY; THE LAST REVIEW OF ALL EXECUTIVE POSITIONS LAST TOOK PLACE IN JUNE 2018. FORM 990, PART VI, SECTION C, LINE 19 CARLETON'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE ON THE COLLEGE'S WEBSITE AND ARE AVAILABLE UPON REQUEST. FORM 990, PART XI, LINE 9: UNREALIZED GAIN ON INTEREST RATE SWAP 282,095. NET CHANGE IN ANNUITY & LIFE INCOME FUNDS -1,343,845. PATRICIA V DAMON SCHOLARSHIP FUND 230 FRONT ST N LACROSSE WI 54601 686229419 TRUST WI 501(C)(3) LINE 12B, II CARLETON COLLEGE 1 S EUGENE BAILEY SCHOLARSHIP TRUST PO BOX 64713 ST PAUL MN 55164 416439914 TRUST MN 501(C)(3) PF CARLETON COLLEGE 1 CHARITABLE REMAINDER TRUSTS (70) CHARITABLE REMAINDER TRUSTS MN CARLETON COLLEGE T 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 CHARITABLE REMAINDER TRUSTS S 2914493 FMV AT DATE OF DEATH S EUGENE BAILEY SCHOLARSHIP TRUST S 144413 FMV PATRICIA V DAMON SCHOLARSHIP FUND S 102000 FMV